EFTA01408666.pdf

Subject: FW: Combined KYC list and priorities [I] From: Ian Salters Date: Sun, 24 Feb 2019.1111.1. To: Davide-A Sferrazza Cc: Nina Tona Let's review tomorrow. Thanks Ian Sent with BlackBerry Work (www.blackberry.com) From: Oliver Esslinger Date: Friday, Feb 22, 2019, 19:57 To: Ian Salters , Bill Kin Cc: Thomas Klemm Victoria Bruce Subject: FW: Combined KYC list and priorities [I] Classification: For internal use only Hi Ian/Bill: Thanks for your input provisions, I took the liberty to review and clean up the files, we have now also added ISG RM names and potential KYC outreach contacts going forward. Our key focus for now should be have a complete inventory of clients in scope including prioritization to share with CIB for identification of action items and time lines. In this context I ask you to amend the template as following: - Column M: Based on CIB business differentiation by OTC product (FX vs IR) please flag what kind of exposure the clients have, I hope and assume that it will not matter from a contractual documentation perspective, nevertheless we should have this breakdown for future reviews EFTA01408666 - Column 0: For the clients that are not a priority and without current CIB KYC in place is offboarding a feasible alternative (62 or almost 50% for ISG and 30 or almost 40% of IWP clients)? If offboarding is not an option, please provide business rationale/commercial viability. - other outstanding tab: I am not clear on the purpose probably lacking historic discussions, upon review I highlighted counterparty names which were already captured in first tab, hence not sure what is outstanding here. Only 7 names are not covered yet, can you please advise, clarify? PS: I will see Vicky on Monday to review next steps also to be discussed in upcoming call hence keeping this in small circle for now . Best Oliver fcid:[email protected] Oliver Esslinger Director I COO Head of Business Integrity Americas Deutsche Bank Wealth Management Deutsche Bank Trust Company Americas Postal address: 345 Park Avenue, 14th floor, New York, NY 10154, USA www.deutschewealth.com EFTA01408667 From: Ian Salters Sent: Thursday, February 21, 2019 6:14 PM To: Oliver Esslinger Cc: Kimberly Hart ' Steven Mattus Thomas Klemm Victoria Bruce ; Bill King Olivier Poncet u ject: : om ine list and priorities [I] FYI Sent with BlackBerry Work (www.blackberry.com) From: Ian Salters < Date: Friday, Feb 15, 2019, 17:31 To: Olivier Poncet Bill King Davide-A Sferrazza Cc: Alastair Mackinlay Nina Tona Subject: FW: Combined KYC list and priorities [I] Classification: For internal use only FYI EFTA01408668 From: Ian Salters Sent: Friday, February 15, 2019 5:31 PM To: Victoria Bruce Thomas Klemm 1..1.11 c: aS Subject: Combined KYC list and priorities [I] Classification: For internal use only I have just received an updated file from JAX and the results are a substantial improvement. They have rechecked every client in the dbCAR database and the results are as follows. Many of the names did not come up originally because they were off by a slash, comma, periods, spaces, and other characters. IWP Onboarded = 43 (further 7 to be prioritized) WM Onboarded = 53 (further 12 to be prioritized) I will have both businesses review the results. Regards Ian EFTA01408669